reference. Notification of the Capital Market Supervisory Board No. TorThor. 84/2552 Re: Custody of Assets of Clients by Licensed Derivatives Brokers _____________ By virtue of Section 18, Section 33 and
damages arising from or related to its use. ------------------------------- Notification of the Office of the Securities and Exchange Commission No. SorKhor. 49/2552 Re: Approval for Investor Contacts and
Associations, which are approved by the Office; (8) “Office” means the Office of the Securities and Exchange Commission. Clause 3. This Notification shall not be applied to those financial
Office of the Securities and Exchange Commission. Clause 3. This Notification shall not be applied to those financial institutions holding securities business licenses, which are under direct supervision
the Office; (8) “Office” means the Office of the Securities and Exchange Commission. Clause 3. This Notification shall not be applied to those financial institutions holding securities business licenses
) dated 7 December 2010. Clause 3 This Notification shall be applicable to the establishing of any intermediary’s branch office, excluding the branch office of [an intermediary which is] financial
, excluding the branch office of [an intermediary which is] financial institutions established under other laws. Clause 4 In this Notification: “intermediary” means a securities company and a derivatives
] financial institutions established under other laws. Clause 4 In this Notification: “intermediary” means a securities company and a derivatives intermediary. “branch office” means a branch office of an